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Fiduciary Compliance Training is an online education program designed to upgrade compliance procedures to keep pace with the new realities in which firms are arbitrarily held to a fiduciary standard in arbitration and to take advantage of the public pressure to act in a fiduciary capacity that presents increasing business opportunities.

Fiduciary Compliance Training addresses…
  • Defense against the number one FINRA arbitration claim of “breach of fiduciary duty”
  • Revenue retention while switching to a fiduciary protocol.
  • Strategy to retain existing business model while operating in a fiduciary capacity.
  • Promoting the fiduciary role as a competitive advantage.
  • Positioning to win more 401(k) business.
  • Protecting the firm from fiduciary liability.
  • Supervision of fiduciary practices.
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